Series 66 - Personal Study Guide

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By: brandon demery
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Decks in this class (15)

Alternative Investments and Other Assets, Economic Concepts, and Securities Regulation and Issuers
True or false securities issued b...,
What is considered an issuer of e...,
Are securities issued by foreign ...
58  cards
Regulation of IAs, State Registrations, and Federal Covered Advisors
What must a federal covered advis...,
What types of information require...,
When must nonmaterial information...
42  cards
IARs, IAR Exclusions and Exemptions, and IAR Registration
Definition of IAR Under Uniform Securities Act
39  cards
Regulation of BD and Agents, Types of Risk, Priority Claims
What are broker dealers 1,
In what capacity do broker dealer...,
When broker dealers buy and sell ...
84  cards
BD Regulation and Client Profiles
What does the uniform securities ...,
Is us citizenship necessary for r...,
True or false proof of age is a r...
75  cards
Jurisdiction and authority of state Administrators/Violations of Uniform Securities Act
administrative provisions of the act and the remedies available to the Administrator
48  cards
Communications with Customers and Prospects
disclosures, communications, and advertising
84  cards
Ethical Practices and Obligations
What are the two primary reasons ...,
What does nasaa stand for 2,
True or false the nasaa statement...
130  cards
Tax Considerations, Retirement Plans, and Education Funding
Income is derived from rental pro...,
Earned income 2,
Eligible dividends that reduce in...
140  cards
Types of clients
Business entities, taxation, trust and estates, insurance, and fiduciary accounts
139  cards
Analytical Methods
time value concepts, bond duration, discounted cash flow, alpha and beta, standard deviation, correlation, liquidity calculations
157  cards
Portfolio Management Styles, Strategies and Techniques
Asset allocation programs, Passive and active management, Diversification, Dollar cost averaging, options strategies, minimizing risk, and efficient market hypothesis
159  cards
Performance Measures, Trading Securities, and Insurance-Based Products
investment return measurements, cash and margin accounts, costs of trading, types of orders
160  cards
Insurance-Based products
True or false the expense ratio o...,
What is a primary advantage of an...,
What is the contribution limit fo...
114  cards
Exam Review Session
True or false investment advisers...,
What does the uniform securities ...,
True or false investment advisers...
141  cards

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Series 66 - Personal Study Guide

  • Class purpose General learning

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